AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KH

Kevin C. Harms

Some features on this profile are disabled
CRD#: 2204523
KH

Professional summary

Kevin Charles Harms was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin Charles Harms was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1992. Kevin had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 4, 2017 - July 10, 2017

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

February 17, 2016 - April 5, 2017

SW FINANCIAL

BD
CRD#: 145012
MELVILLE, NY
Past

June 30, 2014 - August 25, 2014

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

December 13, 2013 - May 1, 2014

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

April 24, 2013 - December 20, 2013

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

December 15, 2011 - April 26, 2013

IAA FINANCIAL LLC

BD
CRD#: 6578
WEST PALM BEACH, FL
Past

August 5, 2011 - December 15, 2011

BUCKMAN, BUCKMAN & REID, INC.

BD
CRD#: 23407
BOCA RATON, FL
Past

July 23, 2010 - August 16, 2011

STONEX SECURITIES INC.

BD
CRD#: 18456
FORT LAUDERDALE, FL
Past

May 4, 2009 - July 22, 2010

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

January 2, 2009 - April 30, 2009

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
BOCA RATON, FL
Past

July 30, 2007 - January 2, 2009

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

April 26, 2006 - July 31, 2007

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FT. LAUDERDALE, FL
Past

August 29, 2005 - April 18, 2006

G.T. JEFFERS & COMPANY, LLC

BD
CRD#: 45308
TAMARAC, FL
Past

June 21, 2002 - August 31, 2005

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

January 2, 2002 - June 28, 2002

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

November 2, 2000 - January 2, 2002

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

January 29, 1999 - October 24, 2000

TRADE.COM ONLINE SECURITIES, INC.

BD
CRD#: 36189
NEW YORK, NY
Past

February 27, 1998 - January 29, 1999

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

June 17, 1992 - February 26, 1998

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/5/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/1/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/10/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1992
General Securities Representative Examination

Current Firm

CF
CHELSEA FINANCIAL SERVICES
CHELSEA FINANCIAL SERVICES | DBA CHELSEA FINANCIAL SERVICES | CHELSEA MORGAN SECURITIES, INC.

CRD#: 47770 / SEC#: , 8-51916

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
242 Main Street, Staten Island, NY 10307
Mailing Address
242 Main Street, Staten Island, NY 10307
Phone number
(718) 967-8400
Established
New York since 05/05/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PISAPIA, JOHN THOMASPRESIDENT2336216
SEBOLD, STEPHEN RAPHAELCHIEF COMPLIANCE OFFICER2453748

Disclosures

Regulatory Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CHELSEA FINANCIAL SERVICES

CRD#: 47770

TRUST BUT VERIFY

Monitor Kevin Harms

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics